Senior Compliance Specialist

2 weeks ago

Calgary, Alberta, Canada Neo Financial Full time
Compliance Specialist Job Description

At Neo Financial, we're seeking a highly skilled Compliance Specialist to join our team in Calgary. As a key member of our compliance team, you'll play a critical role in ensuring our business operations align with regulatory requirements and industry standards.

Key Responsibilities:

  • Develop and maintain in-depth knowledge of federal and provincial compliance laws and regulations, as well as industry standards applicable to Neo's business.
  • Lead the design and implementation of processes and controls for Neo's Third Party Risk Management program, making updates as needed to reflect new legislation or requirements.
  • Perform vendor compliance due diligence and monitor third-party risk profiles.
  • Conduct and maintain up-to-date third-party risk assessments, identifying mitigating controls to ensure Neo's residual risks align with its enterprise risk tolerance.
  • Complete privacy impact assessments to ensure data security is maintained at the highest level.
  • Evaluate business processes and procedures to identify compliance risks and develop improvement plans.
  • Regularly review and update policies and processes to reflect the latest jurisdictional regulations and emerging compliance best practices.
  • Execute quarterly and annual audits of Neo's compliance program, identifying gaps and creating remediation plans to address.
  • Investigate and respond to compliance risk issues, regulatory inquiries, including preparing required documentation and making recommendations to senior management on how to proceed.
  • Work with product and engineering teams to embed automated controls into products and internal tools to meet compliance requirements.
  • Collaborate with senior management to develop and maintain a cultural focus on compliance.

Requirements:

  • At least 5+ years of experience in compliance, risk management, or audit roles, preferably with knowledge within financial services.
  • Prior experience with vendor compliance and vendor management.
  • Working knowledge of risk management subject matter, including OSFI B-10 or similar industry standards, is an asset.
  • A strong ability to build relationships and establish trust and credibility with colleagues through excellent verbal, written, and interpersonal communication skills.
  • Experience working effectively in a team environment where flexibility, collaboration, and adaptability are essential.
  • Possess strong organizational and prioritizing skills.
  • Have advanced Microsoft Office or G Suite skills.
  • Knowledge and/or experience with relevant legislation and regulation is an asset (i.e., PCI, SOC 2, FINTRAC, FCAC, PIPEDA, OSFI, CDIC; and/or the Ontario Securities Commission).
  • Risk management qualifications are considered an asset.
  • CPA/CISA designation is considered an asset.

About Neo Financial:

Neo Financial is a rapidly expanding fintech company that's transforming financial services for Canadians. We're committed to creating a workplace with passion and purpose, where high-performing individuals can grow and thrive.

What We Offer:

At Neo Financial, we offer a dynamic and challenging work environment, opportunities for professional growth and development, and a competitive compensation package. If you're a motivated and detail-oriented individual who is passionate about compliance and risk management, we encourage you to apply for this exciting opportunity.

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